Sam Sabaugh Jr

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2020-02-14
TX	RA	APPROVED_RES	2016-04-18
KS	RA	APPROVED	1997-08-01

CA RA
APPROVED

Since 2020-02-14
TX RA
APPROVED_RES

Since 2016-04-18
KS RA
APPROVED

Since 1997-08-01

Branch Locations

One Hallbrook Place 11150 Overbrook Road, Leawood, KS 66211-2298 • United States

888 San Clemente Drive, Newport Beach, CA 92660 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc	Leawood	KS	07/2013	Present

07/2013 → Present

Ubs Financial Services Inc

Leawood, KS

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-12-23
S63	Uniform Securities Agent State Law Examination	1982-10-22

S65 Uniform Investment Adviser Law Examination

1999-12-23
S63 Uniform Securities Agent State Law Examination

1982-10-22

Other Names

Sam H Jr Sabaugh
Sam H Sabaugh
Sam H Sabaugh Jr.
Sam Sabaugh

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Exams

Other Names

Other Firms

Other Investors

Other Offices

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